0309 ss ren 110508rev

SUPPORTING STATEMENT
SCIENTIFIC RESEARCH, EXEMPTED FISHING, AND
EXEMPTED EDUCATIONAL ACTIVITY SUBMISSIONS
OMB CONTROL NO. 0648-0309
A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
a. Scientific research plan. The Magnuson-Stevens Fishery Conservation and Management Act
(16 U.S.C. 1801 et seq.)(MSA) as amended in 2006 authorizes the Secretary of Commerce to
conserve and manage fishery resources in the exclusive economic zone (EEZ) by regulating
“fishing.” Most such regulatory functions have been delegated to the National Marine Fisheries
Service (NMFS). Section 3 of the MSA, defines “fishing” as the catching, taking, or harvesting
of fish; the attempted catching, taking, or harvesting of fish; any other activity that can
reasonably be expected to result in the catching, taking, or harvesting of fish; or any other
operations at sea in support of, or in preparation for, any of the aforementioned activities. “Fish”
includes finfish, mollusks, crustaceans, and all other forms of marine life other than marine
mammals and birds.
Excluded expressly from the definition of fishing, and therefore from the MSA purview, is
“scientific research activity which is conducted by a scientific research vessel.” The MSA does
not, however, define “scientific research activity” or “scientific research vessel.” NMFS defines
“scientific research activity” and “scientific research vessel” based on review of a research plan,
in order to reduce the potential for abuse by using the exemption to obtain marketable fish
outside of established fishing seasons or areas, or to otherwise avoid applicable regulations. An
accepted convention of any bona fide scientific research project is the advance preparation of a
written research plan that guides the conduct of the research. NMFS requests the voluntary
submission of a scientific research plan, which is acknowledged by a letter of acknowledgment
(LOA) from the appropriate NMFS official, to establish a basis for a presumption that an activity
in the EEZ is scientific research, and unregulated, as opposed to regulated fishing. Enforcement
officers may verify activities outside the research plan or by a vessel without an LOA on site to
avoid possible disruption of research. Researchers following the recommendations of the
regulations for scientific research vessels at 50 CFR 600.745 may also avoid occasional
confusion and delay caused when a research vessel conducting unannounced research in the EEZ
is boarded by enforcement officers to determine whether the vessel is fishing illegally. The
determination of an activity as scientific research requires an acceptable standard of reference for
researchers and regulators.
The regulations at 50 CFR 600.745(c) request (but do not require) that the researcher provide a
copy of any cruise report or publication related to the research to help determine the amount of
catch. The amount of fish taken in scientific research is of increasing importance. Because these
fish are taken outside the regulatory regime, these catches are not considered as part of any
quota, harvest guideline, days-at-sea, or other allocation scheme. However, it is important,
especially in the case of overfished and/or rebuilding stocks to take the research catch in account
as part of the mortality in the fishery. This mortality can then be used as part of the inputs in
determining the status of the fishery and the allowable catch in the fishery, as well as any
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determining the cumulative effects of research on the fishery for purposes of analysis under the
National Environmental Policy Act (NEPA).
b. Exempted fishing and exempted educational activities. Section 301 of the MSA sets out
national standards for fishery management plans and regulations. Standard one requires that
“Conservation and management measures shall prevent overfishing while achieving, on a
continuing basis, the optimum yield from each fishery...” To comply with this standard and
effectively manage a fishery, NMFS needs to know the amount and species of fish caught, where
caught, and the catch disposition. Exempted fishing, by definition, is fishing outside of the
standard regulations. To control this fishing and determine the extent of this fishing, NMFS
needs information to determine the justification of granting an exempted fishing permit (EFP) or
exempted educational activity authorization (EEAA), and documentation of catches landed as a
result of granting the permit/authorization. These regulations at 50 CFR 600.745(b) supplement
existing information collections required by the various fishery management plans establishing
minimum standards for these activities. The regulations dealing with specific fisheries may
impose additional requirements.
2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
a. Scientific Research Plan. NMFS Regions, Fishery Science Centers, and NMFS and
Coast Guard enforcement use information obtained from voluntarily submitted research
plans and subsequent reports in monitoring such activities to ensure they are bona fide
scientific research activities. NMFS reviews each scientific research plan submitted to
establish that the sponsoring organization and personnel involved are recognized
scientific investigators, that the specific project contemplated appears to be scientific
research and not fishing, and that the vessel or vessels to be used are or will be used
exclusively for research for the duration of the scientific research cruise. The
information collected, which is likely to include confidential research catch statistics and
proprietary research information, will not be disseminated to the public except in
aggregate as part of the total mortality in the fishery. Total mortality is part of a routine
NMFS determination of the status of the effected stocks and is subject to quality control
measures and a pre-dissemination review pursuant to Section 515 of Public Law 106-554
whenever conducted. NMFS also uses any reports or articles, voluntarily submitted, to
confirm that the activities conducted were scientific research, and to consider the
appropriateness of acknowledging future requests.
b. Exempted fishing and exempted educational activities. Regulations at 50 CFR
600.745(b)(2) and (d)(2) identify the information that an applicant must submit to receive
an EFP or EEAA. This information includes:

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(i). The date of the application.
(ii). The applicant’s name, mailing address, and telephone number.
(iii). A statement of the purposes and goals of the exempted fishery for which an EFP/EEAA
is needed, including justification for issuance of the EFP/EEAA. For EEAA, evidence the
sponsoring institution is a valid educational institution.
(iv). For each vessel to be covered by the EFP/EEAA, as soon as the information is available
and before operations begin under the EFP:
(a) A copy of the United States Coast Guard (USCG) documentation, state license, or
registration of each vessel, or the information contained on the appropriate document.
(b) The current name, address, and telephone number of the owner and master, if not
included on the document provided for the vessel.
(v). The species (target and incidental) expected to be harvested under the EFP, the
amount(s) of such harvest necessary to conduct the exempted fishing, the arrangements for
disposition of all regulated species harvested under the EFP, and any anticipated impacts on
marine mammals or endangered species. Note: Since the last renewal request for this
collection, we have begun requiring an explanation in detail of any anticipated impacts,
rather than a “yes” or “no” and a simple explanation. See (viii) for authorization.
(vi). For each vessel covered by the EFP, the approximate time(s) and place(s) fishing will
take place, and the type, size, and amount of gear to be used.
(vii). The signature of the applicant.
(viii). The Regional Administrator or Director, as appropriate, may request from an applicant
additional information necessary to make the determinations required under this section.
NMFS Regions, and NMFS and USCG enforcement use EFP and EEAA applications to
identify the entities and vessels involved and ensure the applicant carries out activities within
the restraints of the permit.
NMFS Regions, Regional Fishery Management Councils, Fishery Science Centers, and NMFS
and USCG enforcement use the EFP application statement of purpose and goals in evaluating
proposals to determine their usefulness to the overall goals of the applicable fishery management
plan and for issuance of permits, and evaluate them comparatively with other applicants for the
same fishery.
NMFS evaluates EEAA applications to confirm their educational value and determine their
usefulness to the overall goals of the applicable fishery management plan and for issuance of
permits.

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NMFS Regions use the species (including marine mammals and endangered species) and
amounts to be caught, the time and location of the projected catch, and any additional
information requested to be provided to analyze the impact of the activity on the fishery stocks,
endangered species, marine mammals and cumulative effects on the environment for the
purposes of compliance with NEPA. NMFS has required more detailed information as EFP have
become more numerous and complex, with greater associated impacts on the fisheries and other
parts of the environment.
NMFS Regions, Centers, and enforcement use exempted fishing and exempted educational
activity reports to ensure activities are carried out as described in the permit, document the catch
for inclusion in the total catch, and consider the permittee for future permits.
NMFS anticipates that the information collected, which is likely to include confidential fish
catch statistics and proprietary fishing practice and strategy information, will not be
disseminated to the public unless specifically authorized as part of the EFP or EEAA. If NMFS
makes public non-confidential information, then prior to dissemination, the information will be
subjected to quality control measures and a pre-dissemination review pursuant to Section 515 of
Public Law 106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
This collection involves no use of forms, but copies of the relevant regulations with the
application requirements can be found on the Internet at Electronic Code of Regulations or at
http://www.nwr.noaa.gov/Groundfish-Halibut/Groundfish-Permits/upload/50cfr600.745.pdf
Documents may be submitted via e-mail.
4. Describe efforts to identify duplication.
To the extent that scientific research organizations are required to submit scientific research
plans to the sponsor(s) of their research, those same plans would be acceptable for the purposes
of this information collection. Copies of any scientific cruise report or research documentation
required to be submitted by a scientific research organization would be acceptable as a voluntary
report for the purposes of this collection. The requirements for an EFP or EEAA and associated
reports are the minimum requirements. The EFP or EEAA may have additional requirements as
specified by the regulations of the fishery in which the activity is authorized. The Regional
Administrator will specify all applicable reporting requirements as part of issuing the EFP or
EEAA.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
Respondents to this information collection vary from large research organizations to individual
fishermen or educators. Many respondents are categorized as small businesses or entities. These
regulations were drafted with the consideration that the typical respondent would be a small
entity, with the requirement made flexible that the Regional Administrator can tailor them to the
scope of the project.
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6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
If the information requested in the scientific research plan is not obtained, enforcement of
violations of the MSA where the violator asserts he/she was conducting scientific research and
not fishing will continue to be difficult to prove. Legitimate researchers will continue to be
inconvenienced and enforcement units will continue to conduct needless and inappropriate
boardings of scientific research vessels whose activities are confused with fishing. If the
information requested by exempted fishing and exempted educational activity permits is not
obtained, there will be no standard way of dealing with these activities from Region to Region,
there will be more incidents of persons who think they are conducting scientific research being
found in violation of the MSA, and the catches of some activities taking large amounts of fish
currently considered scientific research may go unrecorded, possibly contributing to overfishing.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
There are no special circumstances involved with this action.
8. Provide information on the PRA Federal Register Notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
A Federal Register Notice published on July 17, 2008 (73 FR 41040) solicited public comment.
No comments were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
There are no payments or gifts.
10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
It is NMFS policy not to release confidential data, other than in aggregate form, as the MSA,
Section 402b, protects (in perpetuity) the confidentiality of those submitting data. Whenever
data are requested, the NMFS ensures that information identifying the pecuniary business
activity of a particular vessel operator is not identified.

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11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
No sensitive questions are asked.
12. Provide an estimate in hours of the burden of the collection of information.
NMFS recently re-surveyed all Regions and Science Centers for the annual and projected annual
number of scientific research letters of acknowledgment, exempted fishing, and exempted
educational activity authorization requests they processed. The number of respondents is now
estimated to be 91 (previously 124) with correspondingly lower responses, 182 (previously 248).
However, several Regions also reported from respondents that estimated response times for most
of the various plans, reports and requests were not adequate. Thus, the estimated hours increased
from 1,357 to 11,003. See the table below, with previous response time estimates in parentheses.
Total
Annual
Burden

Number of
Respondents

Frequency
of Response

Scientific
Research Plans

58

1

58

113 (3.1)

6,554

Scientific
Research
Reports

58

1

58

3 (0.5)

174

EFP Requests

30

1

30

95 (20.6)

2,850

EFP Reports

30

1

30

47 (2.1)

1,410

Exempted
Educational
Requests

3

1

3

3 (4.4)

9

Exempted
Educational
Reports

3

1

3

2

6

Requirement

TOTALS

Total
Responses

Avg. Hrs.
per
Response

91*

182

11,003

*The total is not a sum of all respondents in column, since the same respondents appear multiple
times (applications and types of reports).
Estimate of annualized labor cost to respondents:
$25.98/hr. (GS-12/1 equivalent) x 11,003 hrs = $285,857.94.

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13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of he burden hours in Question
12 above).
The costs for postage, envelopes, and copying are estimated at $262.08, based on the following:
$1.44 (stamps (2 @ $.0.42 = $0.84) + envelopes (1 at $0.10) + copying (10 pages at $.05 =
$0.50)) x 182 applications/reports = $262.08.
14. Provide estimates of annualized cost to the Federal government.
The estimated annual Federal cost of this information collection is $51,710.29, based on the
following:
Scientific research activities:
($13.18/hr (GS-6 equivalent) for letter preparation and report filing x 2.4 hrs/request = $31.63) +
($36.04/hr (GS-13/6 equivalent) for final review of LOA x 3.8 hrs/request = $136.95) x 58
LOAs = $9,777.76.
EFPs:
($17.62/hr (GS-9 equivalent) for research and analysis, permit preparation, and report filing x
66.5 hrs/application = $117,173) +
($36.04/hr (GS-13/6 equivalent) for final review of EFP x 4.1 hrs/application: $147.76) x 30
EFPs = $39,584.82.
EEAAs:
($17.62/hr (GS-9 equivalent) for research and analysis, permit preparation, and report filing x
39.3 hrs/application = $692.47) +
($36.04/hr (GS-13/6 equivalent) for final review of EFP x 2.5 hrs/application = $90.10) x 3
EEAAs = $2,347.71.
15. Explain the reasons for any program changes or adjustments.
Based on the currently lower estimates for respondents and responses, if estimated response
times had not changed, there would have been a decrease of 449 hours. But due to increased
estimated response times based on feedback from the Regions, the estimated hours are now
almost ten times the previous estimate (11,003; previously 1,357). Therefore, the net result of
adjusting respondents and responses down, and adjusting response times up, is an increase in
hours of 9,646.
NOTE: as the current costs of $332 were migrated into ROCIS and rounded down to zero, it
appears that there is an increase of $262 in costs, whereas in fact there is a decrease of $70
(increased postage costs but fewer responses).

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16. For collections whose results will be published, outline the plans for tabulation and
publication.
The results of this collection will not be published.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
There are no forms, therefore display of the OMB approval of the information collection is N/A.
18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
There are no exceptions to the certification statement.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

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